Notification of the Securities and Exchange Commission (UNOFFICIAL TRANSLATION) PAGE (UNOFFICIAL TRANSLATION) - 11 - Readers should be aware that only the original Thai text has legal force and that
Notification of the Securities and Exchange Commission (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly
SEC plans to revise the criteria on the maintenance of the net capital (NC) of securities and derivatives business operator. SEC has, therefore, conducted a public hearing on this matter, in
SEC plans to revise criteria on the delegation of other persons to operate a business on behalf of the operators of securities, investment management, and derivative contract business in order to
of the SEC The SEC is accountable to the State, regulated persons and the public. 6.1 Accountability towards the State The Minister of Finance is in charge of the enforcement of the Securities and
effective supervisory mechanism and sustainable capital market, the SEC has moved towards more principle-based regulations and self-discipline among practitioners by using four major instruments as follows
were honoured to host the first ASEAN Capital Market Forum in which securities regulators agreed to work towards mutual recognition of standards. In November 2004, we signed a Letter of Intent with Hong
external challenges. Finally, I wish to sincerely thank the SEC’s management and officers and all parties who have dedicated their effort towards the sustainable development of our capital market. I am
Report on the Observance of Standards and Codes (ROSC) CORPORATE GOVERNANCE COUNTRY ASSESSMENT Thailand JANUARY 2013 Report on the Observance of Standards and Codes (ROSC) CORPORATE GOVERNANCE